Christine S. Frederick
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Christine Spencer Frederick, who also goes by Christine S Frederick, Christine Louise Spencer, was a registered financial professional .
Christine is a previously registered financial professional and started their career in finance in 1995. Christine had worked at 7 firms and has passed the SIE, Series 7, Series 14 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 25, 2017 - July 17, 2017
MSI FINANCIAL SERVICES, INC.
September 21, 2016 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
April 4, 2013 - November 4, 2013
MMLISI FINANCIAL ALLIANCES, LLC
June 28, 2011 - October 5, 2021
MML INVESTORS SERVICES, LLC
April 18, 2007 - February 4, 2011
LINCOLN FINANCIAL DISTRIBUTORS, INC.
June 9, 2006 - November 7, 2008
LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION
August 14, 1998 - December 14, 2007
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
June 1, 1998 - December 14, 2007
OSAIC FA, INC.
August 11, 1995 - June 1, 1998
LINCOLN FINANCIAL DISTRIBUTORS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
MSI FINANCIAL SERVICES, INC.
CRD#: 14251 / SEC#: 801-22306, 8-30447
Contact information
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY | DIRECT OWNER | |
| BENSON, WENDY ANN | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 2140720 |
| CHICARES, ELIZABETH WARD | DIRECTOR | 2194754 |
| FANNING, MICHAEL ROBERT | DIRECTOR | 1620072 |
| FRANCELLA, AMY | SECRETARY AND CHIEF LEGAL OFFICER | 1881552 |
| FREDERICK, CHRISTINE SPENCER | CHIEF COMPLIANCE OFFICER | 2641636 |
| HOLTZER, DAVID MICHAEL | PRESIDENT | 4345697 |
Disclosures
| Regulatory Event | 41 |
| Civil Event | 1 |
| Arbitration | 13 |
| Bond | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
